- Citigroup (O'Fallon, MO)
- …to banking and /or investment operations - including placing unsolicited securities trades ( Series 7 & 63 required). + Ensures customer claims and complaints are ... and firm policy. + Ensures that KYC/AML and other compliance norms are strictly adhered to. + Builds a...to client requests for investment products, referring clients to Financial Advisors, if requested. + Accountable for identifying prospective… more
- Citigroup (Jacksonville, FL)
- …to banking and /or investment operations - including placing unsolicited securities trades ( Series 7 & 63 required). + Ensures customer claims and complaints are ... and firm policy. + Ensures that KYC/AML and other compliance norms are strictly adhered to. + Builds a...to client requests for investment products, referring clients to Financial Advisors, if requested. + Accountable for identifying prospective… more
- Veterans Affairs, Veterans Health Administration (Los Angeles, CA)
- …Ethics, and local Ethics policies, which includes but is not limited to compliance with all laws and regulations related to confidentiality and release of ... Not Authorized PCS Appraised Value Offer (AVO): Not Authorized Financial Disclosure Report: Not required Requirements Conditions of Employment...or reassigned to social worker positions in the GS-0185 series in VHA must be licensed or certified by… more
- The Walt Disney Company (Burbank, CA)
- … series production ATL payments and agency packages; ensure guild reporting compliance + Handle casting administration for legacy series including start ... projects + Manage writing staff payments for pre-order greenlight rooms, ensuring compliance with guild and union rules; prepare guild-mandated reports + Evaluate … more
- ADP (El Paso, TX)
- …the 401(k) Plan Specialist regarding client problem resolution in the technical - compliance features of the 401(k) Plan. + Trend client escalations and provide ... with client service regarding qualified Plans. + Have SIE, Series 6, Series 63 and Series...experience with a TPA or record keeper. + General financial services background. General ERISA knowledge. + Demonstrates strong… more
- Vanguard (Charlotte, NC)
- …management skills and knowledge of client needs to help clients develop financial goals through phone and in person interactions demonstrating empathy and deeply ... Experience utilizing service to sales, consultative sales or experience positioning financial services. + Ability to conduct conversations with clients surrounding… more
- Charles Schwab (Austin, TX)
- **Your opportunity** Charles Schwab has been a leader in financial services for nearly four decades, working to make investing more affordable, accessible and ... eyes, is that Schwab continuously improves on being a premier financial service provider through best-in-class service, technology, products, people and advice.… more
- State of Colorado (Teller County, CO)
- …rules and internal controls. + Conducting criminal investigations. + Conducting compliance inspections. + Providing educational services to licensees and the public. ... investigator conducts complex investigations that require the handling and analysis of financial records and document-heavy cases. This position is also tasked with… more
- Wells Fargo (New York, NY)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... judgment while developing expertise in the function, policies, procedures, and compliance requirements + Collaborate and consult with peers, colleagues, and managers… more
- Wells Fargo (Houston, TX)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... judgment while developing expertise in the function, policies, procedures, and compliance requirements + Collaborate and consult with peers, colleagues, and managers… more